Dan Wagner: Former Triad Advisor Faces $100K Complaint

Greenville, South Carolina financial advisor Dan Wagner (CRD# 2867278) recently received an investor complaint alleging his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with Arkadios Capital and an investment advisor with Wealth Management Advisors, as well as the president of Wagner Wealth Management.

Mr. Wagner’s BrokerCheck report discloses three investor complaints. The most recent, filed in June 2023, alleged that as a representative of Triad Advisors, he negligently recommended a direct investment. The pending complaint alleges damages of $100,000.

An earlier investor complaint, filed in 2009, alleged that as a representative of UVest Financial Services Group, he misrepresented the terms and risks associated with a variable annuity investment. The complaint alleged damages of $82,500 and was withdrawn.

A third investor complaint, filed in 2007, alleged that as a representative of UVest Financial Services Group, he did not disclose the fees or other details associated with a variable annuity. The complaint alleged damages of $15,200 and was closed by the firm with no action taken.

According to the Financial Industry Regulatory Authority, Dan Wagner holds 26 years of securities industry experience. Based in Greenville, South Carolina, he has been a broker with Arkadios Capital since 2021 and an investment advisor with Wealth Management Advisors since 2014. He is the president of Wagner Wealth Management. His registration history includes Triad Advisors (Greenville, South Carolina; 2014-2021), The Investment Center (Anderson, South Carolina; 2007-2014), and UVest financial Services Group (Anderson, South Carolina; 1997-2007). His credentials include the passage of five securities industry qualifying exams: the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Series 66 – Uniform, or Series 66. He is licensed in Alabama, California, Colorado, Florida, Georgia, Massachusetts, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, Texas, Utah, Virginia, and Washington. (Information current as of July 9, 2023.)

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